The Directors Education Series: Compliance Oversight Responsibilities

Carl Pry

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Managing Director for Treliant Risk Advisors in Washington, DC. Through his working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves on the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Carl's Other Events

OnDemand

Boards of Directors have many responsibilities in financial institutions, not the least of which is to monitor risk. Within the past 10 years, since the passage of the Dodd-Frank Act, regulatory attention to Board oversight over the Compliance function has only increased. There must be regular the thorough communication to the Board from the institution's Chief Compliance Officer, to ensure the Board is aware of any impending risk or regulator issues, among other things. As well, the Board must balance risk management, technical compliance with laws and regulations, and issues around customer fairness. As well, the Board must oversee the three lines of defense to ensure they are designed and are functioning properly. This program will cover all of the following topics:

Board and Executive Management Engagement

Chief Compliance Officer

Functional and Effective Escalation Processes

Compliance Management System Focus

Culture of Compliance

Three lines of Defense

Business and Operations

Compliance and Control Functions

Audit

Subscribe to The Directors Education Series and provide your leaders with the guidance and tools needed to navigate the complexities of today's banking environment.

training features:

Includes Audio, Video and Powerpoint.

PDF Handouts

Discussion Questions

20-25 minutes in length (Perfect to show at your monthly board meeting!)

This program is a breakout session from the Directors Education Series, which is a subscription based Library containing over 50 trainings specifically for your Board of Directors. For more information on theDirectors Education Series click on or go to DirectorSeries.com. You can email questions to info@ttsTrain.com or talk with a representative by calling 1-800-831-0678.

Who Should Attend?

This program is recommended for your Executive staff including every member on your Board of Directors.

“We are loving the program for our Directors. Training has now become a more regular event and the format and timing of the training is just right for the BOD. They have found the information very helpful in understanding their roles as directors.” — Maureen Daehn, CFO, Maple Bank

“After 42 years in Banking and now a Director, the series enables me to continue my knowledge in this ever changing industry! You're never too old to learn, and being a Director it's our responsibility to continue to learn for the good of our organizations.” — Gerald Schmidt, Board Member, Stephenson National Bank and Trust

Please note: This site employs features that may cause unexpected behavior in older versions of Internet Explorer. If you experience a problem, try refreshing your screen. If this doesn't solve the problem, click on this link.
Express Checkout

Error Condition Detected

We will now redirect your browser to our credit card processor - https://www.paytrace.com - for entry of credit card information.

Credit Card Processing Is Currently Offline

Direct credit card processing is temporarily offline. We apologize for the inconvenience. Please choose the 'Bill Me' option. If you leave your email address we will notify you when service is restored.